News & Events

FINRA has published its 2025 Regulatory Oversight Report, highlighting key compliance insights, emerging risks, and new regulatory developments for member firms.

Navigate your next Compliance Management System review with confidence. This practical guide outlines key review components, documentation requirements, and proven preparation strategies. Learn how to demonstrate the effectiveness of your CMS program while strengthening your overall compliance framework.

Explore the six key pillars of a risk management framework tailored for banks, MSBs, and crypto firms in the transformative Banking as a Service (BaaS) era.

Join Bates Group and Steptoe for an exciting live CLE program regarding emerging trends and key points of interest for crypto businesses and investors.

As regulatory scrutiny intensifies, BSA Officers face increasing challenges in executing their vital risk management responsibilities. Our latest article explores common hurdles these compliance leaders encounter and provides actionable strategies for maintaining effectiveness while protecting their careers.

Discover how the CFPB's latest regulatory agenda could impact fintechs and compliance efforts in 2025. Key insights inside.

Bates Group is proud to join the panel for this critical discussion on 2024 sanctions trends and what’s ahead under the incoming Trump administration. Gain actionable insights for your 2025 sanctions compliance strategy.

Both the FFIEC Manual and the MSB Examination Manual provide frameworks to assess MSB AML program integrity and effectiveness through independent reviews. Learn insider strategies for preparing, executing, and excelling in your independent AML program review—ensuring regulatory excellence and operational resilience.

Navigate the complex world of BaaS with confidence. This essential guide reveals how banks and fintechs can transform regulatory challenges into competitive advantages, ensuring compliance, innovation, and consumer trust.

Key Takeaways from the SEC's National Compliance Outreach live webcast for investment advisers and investment companies on November 7, 2024.

Join Bates Group and sponsor McCarthy Hatch for a live program on CFPB data collection.

Discover how strategic KPIs and KRIs can transform your AML compliance from a regulatory burden to a powerful business intelligence tool. 

AML Officers face a complex landscape of potential challenges when working with vendors. Robust ongoing due diligence can help avoid potentially damaging or costly landmines.

Bates Group is a proud partner of the 2024 Crosstech World Conference, November 19-21 in Hollywood, Florida.

Join us for a virtual program with Castellum.AI about the importance of compliance when banks engage with fintech partners

Essential SEC compliance seminar for investment professionals - CCOs and senior compliance personnel: Join key sessions on security, marketing rules, and regulatory requirements.